General Circulars

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Year
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File No.
Date
Description
2026-03-04
SEC Section 31 Fee Rate Advisory
2026
2025-04-09
SEC Section 31 Fee Rate Advisory
Q2
2025
2024-04-17
SEC Section 31 Fee Rate Advisory
Q2
2024
2023-03-02
SEC Section 31 Fee Rate Advisory
Q1
2023
2022-04-20
SEC Section 31 Fee Rate Advisory
Q2
2022
2021-01-19
SEC Section 31 Fee Rate Advisory
Q1
2021
2020-01-14
SEC Section 31 Fee Rate Advisory
Q1
2020
2019-04-03
SEC Section 31 Fee Rate Advisory
Q2
2019
2018-05-30
SEC Section 31 Fee Rate Advisory
Q2
2018
2017-06-05
SEC Section 31 Fee Rate Advisory
Q2
2017
2016-08-11
Collection of Exchange fees and other claims and billing policy
Q3
2016
2016-08-02
Regulatory Transaction Fee Rate per Section 31 of the Securities Exchange Act of 1934 ("Exchange Act") Effective for Investors Exchange Launch
Q3
2016
2016-07-13
Notice of Annual Meeting and Nominee for Member Representative Director Position of the Exchanges Board of Directors
Q3
2016
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Regulatory Circulars

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Year
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File No.
Date
Description
2026-08-07
Update to Equities Trading Halt Rules
Q3
2026
2026-08-05
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q3
2026
2026-07-13
Amendments to IEX Rule 16.160 related to the distribution of Information Circulars for UTP Exchange Traded Products
Q3
2026
2026-02-05
Amendments to IEX's Voluntary Termination and Retention of Jurisdiction Rules
2026
2026-01-05
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
2026
2026-01-05
Notice Regarding Filing of Annual Reports
2026
2025-11-07
Round Lot Definition Change and Market Makers’ Two-Sided Quote Obligations
2025
2025-08-13
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
2025
2025-01-10
Notice Regarding Changes to FINRA Gateway and Regulatory Notification Forms
Q1
2025
2025-01-08
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q1
2025
2025-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q1
2025
2025-01-02
Notice Regarding Filing of Annual Audited Reports
Q1
2025
2024-07-01
Reminding SRO Members and Member Organizations of the CMRWG
Q3
2024
2024-04-17
Enhancements to FINRA Firm Gateway and Regulatory Notifications
Q2
2024
2024-01-03
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q1
2024
2024-01-03
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q1
2024
2024-01-03
Notice Regarding Filing of Annual Audited Reports
Q1
2024
2023-01-04
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q1
2023
2023-01-04
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members
Q1
2023
2023-01-04
Notice Regarding Filing of Annual Audited Reports
Q1
2023
2022-09-15
Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members
Q3
2022
2022-01-05
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2022
2022-01-05
Notice Regarding Filing of Annual Audited Reports
Q1
2022
2021-01-08
Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI
Q1
2021
2021-01-05
Notice Regarding Filing of Annual Audited Reports
Q1
2021
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Product Circulars

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Year
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Exchange Traded Product Circulars may be accessed directly from the listing exchanges. See PC-2026-0494.

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File No.
Date
Description
2025-07-08
Allspring Global Investments
2025
2025-07-08
iShares S&P 500 ex S&P 100 ETF
2025
2025-07-08
Reckoner Leveraged AAA CLO ETF
2025
2025-07-08
Vanguard Malvern Funds
2025
2025-07-07
Azoria 500 Meritocracy ETF
2025
2025-07-07
Calamos ETF Trust
2025
2025-07-07
Kurv Gold Enhanced Income ETF
2025
2025-07-07
WisdomTree GeoAlpha Opportunities Fund
2025
2025-07-02
Horizon Flexible Income ETF
2025
2025-07-02
Horizon Core Bond ETF
2025
2025-07-02
2x Daily Software Platform ETF
2025
2025-07-02
REX-Osprey SOL + Staking ETF
2025
2025-06-30
Hedgeye Capital Allocation ETF
2025
2025-06-30
FT Vest Bitcoin Strategy Floor15 ETF July
2025
2025-06-30
AIM ETF Products Trust
2025
2025-06-30
nnovator ETFs Trust
2025
2025-06-30
PGIM S&P 500 Max Buffer ETF - July
2025
2025-06-30
Anfield Enhanced Market ETF
2025
2025-06-30
JPMorgan Mortgage-Backed Securities ETF
2025
2025-06-27
TrueShares ConVex Protect ETF
2025
2025-06-27
FT Confluence BDC & Specialty Finance Income ETF
2025
2025-06-27
Obra Defensive High Yield ETF
2025
2025-06-26
TCW ETF Trust
2025
2025-06-25
ProShares Nasdaq-100 Dynamic Buffer ETF
2025
2025-06-25
Victory Portfolios II
2025
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